Utah Securities Commission
March 21, 2019
9:00 A.M - 12:00 P.M., Room 451
Agenda
Welcome & Call to Order
Tab 1: Approval of the January 24, 2019 Minutes
Director's Report: Tom Brady
Section Reports:
1. Enforcement: Dave Hermansen
2. Compliance: Ken Barton
3. Registration & Licensing: Bryan Cowley
Tab 2: Education and Training Fund Report: Bryan Cowley
Tab 3: Grant Request: Diversify
Consideration and Approval of Proposed Orders:
Tab 4: Dallas Tall, SD-17-0015: Order on Motion for Summary Judgment (Paula)
Tab 5: Lee Charles Rasmussen, SD-19-0003: Stipulation and Consent Order (Sean)
Hearing
Kenny Andam, SD-16-0034: evidentiary fine
Cetera, SD-18-0014: Stipulation and Consent Order (Eric/Tom M)
Paul Neuenswander, SD-18-0015: Stipulation and Consent Order (Eric/Tom M)